-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RG0NiEzx/n4ruWQh/x0/kQUefRfV75UFF2YCesiUZGR79+hyZMqvD/x9zfQaWAk/ gn1Bf8bYvJKCeCREDmB63w== 0000950135-95-002620.txt : 19951212 0000950135-95-002620.hdr.sgml : 19951212 ACCESSION NUMBER: 0000950135-95-002620 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19951211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DAIRY MART CONVENIENCE STORES INC CENTRAL INDEX KEY: 0000721675 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-CONVENIENCE STORES [5412] IRS NUMBER: 042497894 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-36859 FILM NUMBER: 95600698 BUSINESS ADDRESS: STREET 1: ONE VISION DRIVE CITY: ENFIELD STATE: CT ZIP: 06082 BUSINESS PHONE: 2037414444 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRIUMPH CONNECTICUT LTD PARTNERSHIP CENTRAL INDEX KEY: 0000923556 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6175576000 MAIL ADDRESS: STREET 1: 60 STATE ST 21ST FLOOR CITY: BOSTON STATE: MA ZIP: 02109 SC 13D 1 TRIUMPH-CONNECTICUT LIMITED PARTNERSHIP 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ___)* DAIRY MART CONVENIENCE STORES, INC. - -------------------------------------------------------------------------------- (Name of issuer) CLASS A COMMON STOCK, $0.01 par value per share - -------------------------------------------------------------------------------- (Title of class of securities) 233860204 ----------------------------------------------------------------------- (CUSIP number) Thomas W. Janes Triumph Capital Group, Inc. 60 State Street, 21st Floor Boston, MA 02109 (617) 557-6000 - -------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) December 1, 1995 ----------------------------------------------------------------------- (Date of event which requires filing of this statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box / /. Check the following box if a fee is being paid with the statement . /X/ (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 16 Pages) - -------------------------------- *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 2 Page 2 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 2 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON TRIUMPH-CONNECTICUT LIMITED PARTNERSHIP ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* WC ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION CONNECTICUT ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 ______________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 ______________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 ______________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * PN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Page 3 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 3 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON TRIUMPH-CONNECTICUT CAPITAL ADVISORS, LIMITED PARTNERSHIP ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 ______________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 ______________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 ______________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * PN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 4 Page 4 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 4 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON TRIUMPH CAPITAL GROUP, INC. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 __________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 __________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 __________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * CO ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 5 Page 5 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 5 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON FREDERICK W. MCCARTHY ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 __________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 __________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 __________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 6 Page 6 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 6 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON FREDERICK S. MOSELEY, IV ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 __________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 __________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 __________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 7 Page 7 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 7 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON E. MARK NOONAN ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 __________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 __________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 __________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 8 Page 8 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 8 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON THOMAS W. JANES ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 __________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 __________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 __________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 9 Page 9 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 9 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JOHN M. CHAPMAN ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 _______________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 _______________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 _______________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 10 Page 10 of 16 Pages SCHEDULE 13D CUSIP NO. 233860204 PAGE 10 OF 16 PAGES ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON RICHARD J. WILLIAMS ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) /X/ (B) / / ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* AF ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) / / ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. ________________________________________________________________________________ NUMBER OF 7 SOLE VOTING POWER SHARES 0 ______________________________________________________ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 765,000 ______________________________________________________ EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 ______________________________________________________ PERSON 10 SHARED DISPOSITIVE POWER WITH 765,000 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 765,000 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*/ / ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON * IN ________________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! 11 Page 11 of 16 Pages ITEM 1. SECURITY AND ISSUER. The securities to which this statement relates are shares of Class A Common Stock, $0.01 par value per share (the "Class A Common Stock"), of Dairy Mart Convenience Store, Inc., a Delaware corporation ("Dairy Mart"). The principal executive offices of Dairy Mart are located at One Vision Drive, Enfield, Connecticut 06082. The reporting persons are filing this Schedule 13D because of their acquisition of the Warrant (as defined in Item 6). ITEM 2. IDENTITY AND BACKGROUND. The following table provides certain information about each of the reporting persons.
Citizenship or State of Incorporation/ Principal Occupation Name and Address Organization or Employment - ---------------- -------------------- -------------------- Triumph-Connecticut CT Investment Partnership Limited Partnership ("Holder") CityPlace I, 35th Floor Hartford, CT 06103-3499 Triumph-Connecticut DE General Partner of Holder; Capital Advisors, Investment Management Limited Partnership ("Triumph") CityPlace I, 35th Floor Hartford, CT 06103-3499 Triumph-Capital Group, Inc. DE General Partner of Triumph; ("Capital") Investments 60 State Street 21st Floor Boston, MA 02109 Frederick W. McCarthy USA Managing General Partner of c/o Triumph Capital Group, Inc. Triumph; Director and 60 State Street, 21st Floor President of Capital; Investment Boston, MA 02109 Management/Investment Banking Frederick S. Moseley, IV USA General Partner of Triumph; c/o Triumph Capital Group, Inc. Director of Capital; 60 State Street, 21st Floor Investment Management/ Boston, MA 02109 Investment Banking E. Mark Noonan USA General Partner of Triumph; c/o Triumph Capital Group, Inc. Director of Capital; 60 State Street, 21st Floor Investment Management/ Boston, MA 02109 Investment Banking Thomas W. Janes USA General Partner of Triumph; c/o Triumph Capital Group, Inc. Director of Capital; 60 State Street, 21st Floor Investment Management/ Boston, MA 02109 Investment Banking John M. Chapman USA General Partner of Triumph; c/o Triumph Capital Group, Inc. Director of Capital; 60 State Street, 21st Floor Investment Management/ Boston, MA 02109 Investment Banking
12 Page 12 of 16 Pages
Richard J. Williams USA General Partner of Triumph; c/o Triumph Capital Group, Inc. Secretary and Director of 60 State Street, 21st Floor Capital; Investment Boston, MA 02109 Management/Investment Banking
During the last five years, none of the reporting persons has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). None of the reporting persons has been during the last five years a party to a civil proceeding of a judicial or an administrative body of competent jurisdiction and, as a result of such proceeding, was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activity subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. The funds for purchase of the Warrant (as defined in Item 6) were provided out of the working capital of Holder. All other parties filing pursuant hereto are deemed to be directly or indirectly in control of Holder. The Warrant was acquired as part of a transaction in which Holder paid the Company $8,500,000 from Holder's working capital for $8,500,000 principal amount of 10-1/4% Senior Subordinated Notes due 2004, Series B (the "Notes"). If the Warrant is exercised by Holder, it is expected that the funds which will be used to pay the exercise price will be provided from Holder's working capital or by Holder surrendering Notes. ITEM 4. PURPOSE OF TRANSACTION. The Warrant was acquired for investment purposes. The reporting persons intend to review on a continuing basis their investment in the Company and the Company's business, prospects and financial condition. Based on such continuing review, alternative investment opportunities available to the reporting persons and all other factors deemed relevant (including without limitation the market for and price of the Class A Common Stock, offers for shares of the Class A Common Stock, general economic conditions and other future developments), the reporting persons may decide to exercise all or some of the Warrant, sell or seek the sale of all or part of the Warrant or the Class A Common Stock or increase their holdings of the Class A Common Stock. Pursuant to a Registration Rights Agreement between Holder and the Company, the Company granted Holder and its permitted assigns (the "Holders") registration rights which require the Company to cause certain securities of the Company held by the Holders to be registered under the Securities Act of 1933, as amended (the "Securities Act"), so as to permit the sale or other disposition by such Holder of said securities. 13 Page 13 of 16 Pages ITEM 5. INTEREST IN SECURITIES OF ISSUER. (a) - (b)
Number of Shares Shared Shared Sole Sole Beneficially Voting Investment Voting Investment Name Owned Power Power Power Power Percent - ---- ------------- ------- ----------- ------- ----------- ------- Holder 765,000 765,000 765,000 0 0 21.5% Triumph 765,000 765,000 765,000 0 0 21.5% Capital 765,000 765,000 765,000 0 0 21.5% Frederick W. McCarthy 765,000 765,000 765,000 0 0 21.5% Frederick S. Moseley, IV 765,000 765,000 765,000 0 0 21.5% E. Mark Noonan 765,000 765,000 765,000 0 0 21.5% Thomas W. Janes 765,000 765,000 765,000 0 0 21.5% John M. Chapman 765,000 765,000 765,000 0 0 21.5% Richard J. Williams 765,000 765,000 765,000 0 0 21.5%
(c) Other than the transactions described herein, no transactions by any of the reporting persons required to be reported by this Item have taken place in the last 60 days. (d) The Treasurer of the State of Connecticut, as trustee of the State of Connecticut Retirement Plans and Trust Funds, as limited partner of Holder, has the right to receive dividends from or proceeds from the sale of all or some of the Warrant or all or some of the Class A Common Stock of the Company after exercise of the Warrant. See Item 6. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Pursuant to a Note and Warrant Purchase Agreement between Holder and the Company, Holder acquired (a) the Notes and (b) a Warrant to purchase 765,000 shares of the Class A Common Stock at an initial exercise price of $6.95 per share (the "Warrant"). The exercise price and number of shares of the Class A Common Stock issuable upon exercise of the Warrant are subject to adjustment upon certain events such as stock splits, mergers, reclassifications and similar corporate events. The Registration Rights Agreement is described in Item 4, which description is incorporated by reference herein. Triumph is a General Partner of Holder, which owns the Warrants, and holds a 3.0% interest in Holder. The Treasurer of the State of Connecticut, as trustee of the State of Connecticut Retirement Plans and Trust Funds, is the Limited partner of Holder, and holds a 97.0% interest in Holder. Capital is a general partner of Triumph. Frederick W. McCarthy is the Managing General Partner of Triumph and the Chairman of the Board of Directors and President of Capital. Mr. McCarthy is a person controlling Capital. Frederick S. Moseley, IV, is a General Partner of Triumph and a Director of Capital. E. Mark Noonan is General Partner of Triumph and a Director of Capital. Thomas W. Janes is General Partner of Triumph and a Director of Capital. John M. Chapman is General Partner of Triumph and a Director of Capital. Richard J. Williams is General Partner of Triumph and the Secretary and a Director of Capital. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. A. Agreement for Joint Filing on Behalf of Each Reporting Person. Pages 15-16 14 Page 14 of 16 Pages Signature After reasonable inquiry and to the best of my knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: December 8, 1995 Triumph-Connecticut Limited Partnership by Triumph-Connecticut Capital Advisers, L.P. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its General Partner Triumph-Connecticut Capital Advisors, L.P. by Triumph Capital Group, Inc. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its President Triumph Capital Group, Inc. By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its President /s/ Frederick W. McCarthy ----------------------------------------- Frederick W. McCarthy /s/ Frederick S. Moseley, IV ----------------------------------------- Frederick S. Moseley, IV /s/ E. Mark Noonan ----------------------------------------- E. Mark Noonan /s/ Thomas W. Janes ----------------------------------------- Thomas W. Janes /s/ John M. Chapman ----------------------------------------- John M. Chapman /s/ Richard J. Williams ----------------------------------------- Richard J. Williams EX-99.A 2 AGREEMENT FOR JOINT FILING 1 Page 15 of 16 Pages EXHIBIT A AGREEMENT Pursuant to Rule 13d-1(f) under the Securities Exchange Act of 1934, each of the undersigned hereby agrees that this Statement on Schedule 13D (the "Schedule 13D") is filed in its behalf. Each of the undersigned hereby further constitutes and appoints Frederick W. McCarthy his attorney-in-fact, with power of substitution, for him in any and all capacities, to sign this Schedule 13D and any amendments hereto, and to file the same, with any exhibits thereto and other documents therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that said attorney-in-fact, or his substitute or substitutes, may do or cause to be done by virtue hereof. This Agreement will be construed in accordance with Federal laws of the Untied States and the laws of the State of Connecticut. Nothing contained in this Agreement shall be deemed to confer any rights or benefits upon any person other than the undersigned. This Agreement may be signed in one or more counterparts. IN WITNESS WHEREOF, the undersigned have executed and delivered this Agreement as of December 8, 1995. Triumph-Connecticut Limited Partnership by Triumph-Connecticut Capital Advisers, L.P. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its General Partner Triumph-Connecticut Capital Advisors, L.P. by Triumph Capital Group, Inc. Its General Partner By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its President Triumph Capital Group, Inc. By: /s/ Frederick W. McCarthy -------------------------------------- Frederick W. McCarthy Its President /s/ Frederick W. McCarthy ----------------------------------------- Frederick W. McCarthy /s/ Frederick S. Moseley, IV ----------------------------------------- Frederick S. Moseley, IV /s/ E. Mark Noonan ----------------------------------------- E. Mark Noonan 2 Page 16 of 16 Pages /s/ Thomas W. Janes ----------------------------------------- Thomas W. Janes /s/ John M. Chapman ----------------------------------------- John M. Chapman /s/ Richard J. Williams ----------------------------------------- Richard J. 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